RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
H••• M••••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 30, 2025 · Boston, Ma
- J••• M••••• S••••••••• L•• wirehouseOct 27, 2010 to May 15, 2012 · Chicago, Il
- N••••••• T•••• S••••••••• I•• BD affiliatedOct 3, 2006 to Nov 9, 2009 · Chicago, Il
- M••••• S•••••• D• I••• unclassifiedJan 1, 2004 to Sep 26, 2006 · Chicago, Il
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 15, 2012, registered Apr 30, 2025 (4733 days) · Wirehouse to wirehouse
- N••••••• T•••• S••••••••• I•• to J••• M••••• S••••••••• L••left Nov 9, 2009, registered Oct 27, 2010 (352 days) · Other
- M••••• S•••••• D• I••• to N••••••• T•••• S••••••••• I••left Sep 26, 2006, registered Oct 3, 2006 (7 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address